Tag Archives: Timothy Robert Millis

NYLife Terminates Stockbroker For Unsuitable Trading

November 24, 2019  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Timothy Robert Millis of Okemos Michigan a stockbroker registered with NYLife Securities LLC has been terminated by the securities broker dealer on April 1, 2019 supported by accusations that Millis effected inappropriate and unsuitable switches of mutual funds in the accounts of NYLife Securities LLC customers. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that […]

Read More »

FINRA Sanctions NYLife Stockbroker For Bad Advice

Timothy Robert Millis of Okemos Michigan a stockbroker formerly employed by NYLife Securities LLC has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Millis poorly advised customers of NYLife Securities LLC in regard to a short-term mutual fund trading […]

Read More »